DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C••••••••• F•••••••• P••••••• I••
Latest filing Mar 11, 2026
First filing on the tape Mar 26, 2012 · 20 filings
SEC status approved since May 19, 1988
RAUM
$176M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$176M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$176M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$176M as of Mar 11, 2026
Mar 26, 2012$102M then
HNW client RAUM$60.1M as of Mar 11, 2026
Mar 27, 2018$39.2M then
State-registered IARs (5.B.3)1 as of Mar 11, 2026
Mar 26, 20120 then
Employees (5.A)2 as of Mar 11, 2026
Mar 28, 20131 then
Private funds: no history
RAUM -3.6% over the last fiscal year+4.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $176MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.6MderivedHNW RAUM over HNW clients
- Average account
- $536,448derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$116M66%
- High-net-worth individuals$60.1M34%
- Individual clients
- 93reported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 328reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• K••• E••••Certified Financial Planner | Oklahoma City, Ok | Jun 11, 2021 | 43 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• D••••• K••• · President/Chief Compliance Officercontrolsince 01/1990 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 11, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 342 to 328Mar 18, 2025 to Mar 11, 2026
- HNW clients · 9 to 7Mar 18, 2025 to Mar 11, 2026
- Individual clients · 95 to 93Mar 18, 2025 to Mar 11, 2026
- Employees · 3 to 2Mar 18, 2025 to Mar 11, 2026
- HNW RAUM · $73.1M to $60.1MMar 18, 2025 to Mar 11, 2026
- Individual RAUM · $109M to $116MMar 18, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $183M to $176MMar 18, 2025 to Mar 11, 2026
- RAUM · $183M to $176MMar 18, 2025 to Mar 11, 2026
- Accounts · 337 to 342Mar 25, 2024 to Mar 18, 2025
- HNW clients · 7 to 9Mar 25, 2024 to Mar 18, 2025
- Financial planning clients · 1-10 to 1-10Mar 25, 2024 to Mar 18, 2025
- HNW RAUM · $58.3M to $73.1MMar 25, 2024 to Mar 18, 2025
- Individual RAUM · $114M to $109MMar 25, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $172M to $183MMar 25, 2024 to Mar 18, 2025
- RAUM · $172M to $183MMar 25, 2024 to Mar 18, 2025
- Accounts · 344 to 337Mar 28, 2023 to Mar 25, 2024
- HNW clients · 6 to 7Mar 28, 2023 to Mar 25, 2024
- HNW RAUM · $46.1M to $58.3MMar 28, 2023 to Mar 25, 2024
- Individual RAUM · $108M to $114MMar 28, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $154M to $172MMar 28, 2023 to Mar 25, 2024
- RAUM · $154M to $172MMar 28, 2023 to Mar 25, 2024
- Accounts · 338 to 344Mar 25, 2022 to Mar 28, 2023
- HNW clients · 7 to 6Mar 25, 2022 to Mar 28, 2023
- Individual clients · 90 to 95Mar 25, 2022 to Mar 28, 2023
- HNW RAUM · $58.3M to $46.1MMar 25, 2022 to Mar 28, 2023
- Individual RAUM · $113M to $108MMar 25, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $172M to $154MMar 25, 2022 to Mar 28, 2023
- RAUM · $172M to $154MMar 25, 2022 to Mar 28, 2023
- Accounts · 335 to 338Jul 29, 2021 to Mar 25, 2022
- Advisory employees · 1 to 2Jul 29, 2021 to Mar 25, 2022
- Individual clients · 91 to 90Jul 29, 2021 to Mar 25, 2022
- Employees · 1 to 3Jul 29, 2021 to Mar 25, 2022
- HNW RAUM · $53.8M to $58.3MJul 29, 2021 to Mar 25, 2022
- Individual RAUM · $95.4M to $113MJul 29, 2021 to Mar 25, 2022
- Non-discretionary RAUM · $149M to $172MJul 29, 2021 to Mar 25, 2022
- RAUM · $149M to $172MJul 29, 2021 to Mar 25, 2022
- Accounts · 351 to 335Dec 11, 2020 to Mar 29, 2021
- HNW clients · 5 to 7Dec 11, 2020 to Mar 29, 2021
- Individual clients · 94 to 91Dec 11, 2020 to Mar 29, 2021
- HNW RAUM · $40.7M to $53.8MDec 11, 2020 to Mar 29, 2021
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 405-879-1117reportedpublic record, Form ADV, Mar 11, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $176Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026